About Standard Chartered We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.
To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.
We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.
The Role Responsibilities Purpose: · CIB Surveillance employs a range of automated surveillance systems and manual procedures to monitor o transactional activities that have been executed through the Financial Markets ("FM") and Wealth Management Products & Sales ("WMPS") order, quote and trade processing systems, o e-Communications through chat messaging / email channels, and, o recorded phone lines to detect and escalate potential incidences of improper trading anomalies indicative of market abuse (such as insider trading and market manipulation) and inappropriate client executions. · Driven by applicable regulatory requirements, guidance notes, internal policies and procedures, CIB Surveillance, as an independent second line risk control function, executes the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group's Business.
Group Standard Compliance Performance · Take personal responsibility for understanding the risk and compliance requirements of my role. Understand and comply with, in letter and spirit, all applicable laws, and regulations, including those governing anti-money laundering, terrorist financing, and sanctions; the Group's policies and procedures; and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters · Embed 'Here for Good' and Group's purpose - Driving commerce and prosperity through our unique diversity. Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm Business Delivery and Performance · Manage day to day controls matrix with regard to Surveillance and ensure that the necessary control procedures are executed. This includes: Checking that requisite supervisory checks on surveillance work are duly performed, documented and exceptions flagged and reported as necessary; Documenting the results of the checks done in the relevant operation risk platforms used in the Bank; and ensuring that exceptions are reported to the Director of Controls for Trade Surveillance for any required escalations and/or risk assessments. Risk Management · Support all control checks approved by Operational Risk Framework ("ORF") & be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework. · Inform senior management and relevant regulators of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and/or activities are ceased.
People Management & Accountability · Not Applicable Communicate and Collaborate · Support effective and timely communication along with collaboration cutting through functions and business. Agility in Strategic Change Management · Not Applicable
Qualifications, Skills and Experiences For Band 9A-9B: 3 to 8 years of relevant work experience in the following areas:
· Surveillance skills · Quality Analysis skills: able to analyze data trends and out of pattern activities, working knowledge of Internet and MS Office Suite & independently assimilate, analyse and evaluate information from disperse data sources. · Products & Systems: financial market products, trade booking structures and related systems · Risk: Understanding of operational risk framework and concepts · Banking: knowledge in terms of customers, products and transactions · Banking operations experience and an inquisitive & service oriented attitude · Excellent communication in English (articulation and writing) · Languages i.e. those required for role (English) and additional language capabilities (Malay, Mandarin, Cantonese etc)
- training, licenses, memberships, and certifications · Bank training
Apply now to join the Bank for those with big career ambitions.
Internal Number: 6113307
About Standard Chartered Bank Malaysia Berhad
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